Thomas C. Cassidy

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CRD#: 2431109

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Creighton Cassidy III, CFP®, who also goes by Tom Cassidy III, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Cassidy Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Past

October 17, 2016 - September 27, 2017

GIRARD PARTNERS LTD.

RIA

CRD#: 39163

Souderton, PA

Past

February 1, 2006 - March 13, 2013

GIRARD INVESTMENT SERVICES, LLC

CRD#: 1834

SOUDERTON, PA

Past

November 4, 2002 - January 14, 2005

PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC

RIA

CRD#: 110974

PHILADELPHIA, PA

Past

December 22, 1999 - December 7, 2001

GIRARD INVESTMENT SERVICES, LLC

CRD#: 1834

SOUDERTON, PA

Past

July 14, 1994 - June 30, 1998

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GIRARD PARTNERS LTD.

GIRARD | UNIVEST WEALTH MANAGEMENT | GIRARD, A UNIVEST WEALTH DIVISION | GIRARD PARTNERS LTD. | GIRARD ADVISORY SERVICES, LLC

CRD#: 39163 / SEC#: 801-60354, 8-48588

RIA

Registered Investment Advisory firm - SEC (6/14/2001 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (12/31/2010 Failure to Renew)

Terminated by SEC on 02/14/2011

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/31/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/13/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GIRARD PARTNERS LTD.

GIRARD | UNIVEST WEALTH MANAGEMENT | GIRARD, A UNIVEST WEALTH DIVISION | GIRARD PARTNERS LTD. | GIRARD ADVISORY SERVICES, LLC

CRD#: 39163 / SEC#: 801-60354, 8-48588

RIA

Registered Investment Advisory firm - SEC (6/14/2001 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (12/31/2010 Failure to Renew)

Terminated by SEC on 02/14/2011

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Contact information

Main Address

555 Croton Road Suite 210, King Of Prussia, PA 19406

Mailing Address

Phone number

(610) 337-7640

Established

Pennsylvania since 03/09/1995

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A DISCLOSURE BROCHURE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
NORRIS, KEVIN BRIAN	PRESIDENT, CHIEF COMPLIANCE OFFICER & CHEIF INVESTMENT OFFICER	2498441
SEIDEL, RICHARD BASCOM	CHAIRMAN	1232224
CROSSETT, THOMAS J	VICE PRESIDENT SALES & MARKETING	3223221

Regulatory assets under management

Total Number of Accounts	4,636
AUM (Assets Under Management)	$ 2,652,300,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Thomas C. Cassidy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GIRARD INVESTMENT SERVICES, LLC

PRICEWATERHOUSECOOPERS INVESTMENT ADVISERS LLC

GIRARD INVESTMENT SERVICES, LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

GIRARD PARTNERS LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/1997

Series 63

Date: 7/13/1994

Series 7

Date: 1/31/2006

Series 6

Date: 7/13/1994

Current Firm

GIRARD PARTNERS LTD.

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

GIRARD PARTNERS LTD.

TRUST BUT VERIFY

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